Mutual Funds

Nuveen Symphony Small Cap Core Fund

Portfolio Manager(s)

Gunther Stein, Chief Investment Officer and Chief Executive Officer, is responsible for overseeing Symphony’s fixed-income and equity investments. Mr. Stein has over 25 years of investment and research experience and actively involved in the management of the firm's investment products. Prior to joining Symphony in 1999, Mr. Stein spent six years at Wells Fargo where he was most recently a high-yield portfolio manager after being in the firm’s Loan Syndications & Leveraged Finance Group. Before joining Wells Fargo, he was a Euro-currency deposit trader at First Interstate Bank. He also worked for Standard Chartered Bank in Mexico City and Citibank Investment Bank in London. Mr. Stein received an MBA from the University of Texas at Austin and a BA in economics from the University of California, Berkeley.

Marc Snyder, Co-Director of Equity and Co-Portfolio Manager, is responsible for co-heading Symphony’s equity investment strategies since 2015. Prior to joining Symphony in 2007, Mr. Snyder was an Analyst at SAC Capital where he focused on long and short opportunities in the financial sector. Previously, he worked at several leading investment banks covering the financial sector on both the equity side and fixed-income side. In 2004, Mr. Snyder received Institutional Investor Honorable Mention for Fixed Income Research - Financial Institutions. Mr. Snyder received a BS in government and social policy from The London School of Economics.

Mr. Sakamoto, Co-Director of Equity and Co-Portfolio Manager, is responsible for co-heading Symphony's equity investment strategies since 2010. Mr. Sakamoto has almost 30 years of industry experience, which includes working at Symphony from 1996 to 2002 as an Equity Portfolio Manager of long-only and hedged strategies. Most recently, Mr. Sakamoto was a Director in the Quantitative Strategies group at Deutsche Bank Advisors. Prior to Deutsche Bank, he was a Managing Director at Bear Stearns & Company. Mr. Sakamoto received his B.S. degree in Business Administration from the University of California, Berkeley. He is a Chartered Financial Analyst and a member of the San Francisco Society of Security Analysts.

Management

Symphony is a boutique investment manager that applies a team-based approach to rigorous fundamental research, valuation and risk analysis across the corporate capital structure, identifying and translating relative value into desired risk-reward outcomes for clients.

Symphony has successfully managed equity and credit hedge fund products for institutions since 1994 and 1999, respectively, as well as various long-only products for over a decade. Equity and credit analysts operate as a collaborative team, sharing insights on sectors, industries, and individual names and reporting to CIO, Gunther Stein. A keen understanding of both equity and debt enhances the team’s ability to evaluate potential investments and recognize relative value opportunities.
Regardless of asset class, Symphony makes informed investment decisions based on the following key tenets:

Fundamental Research: Industry-focused, fundamental research is key to making investment decisions. Each thesis has a clear investment thesis and time horizon

Global Economic and Macro Risk Perspective: Views on the global economic outlook and macro environment are incorporated into the investment process and are critical to attaining the desired risk-reward outcome for clients

Risk Management: Proactive risk focus begins with deep understanding of the potential downside of each investment opportunity and is complemented by robust systems and processes for monitoring systemic risks at the portfolio level

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A Word On Risk

Mutual fund investing involves risk; principal loss is possible. Prices of equity securities may decline significantly over short or extended periods of time. Investments in smaller companies are subject to greater volatility than those of larger companies. These and other risk considerations, such as currency and non-U.S./emerging markets risks, are described in detail in the Fund’s prospectus.

Before investing, carefully consider fund investment objectives, risks, charges and expenses. For this and other information that should be read carefully, please view the prospectus or summary prospectus.

The material contained on this website is not intended to be a recommendation or investment advice, does not constitute a solicitation to buy or sell securities, and is not provided in a fiduciary capacity. The information provided does not take into account the specific objectives or circumstances of any particular investor, or suggest any specific course of action. Investment decisions should be made based on an investor’s objectives and circumstances and in consultation with his or her advisors.

The information on this web site is intended for U.S. residents only. The information provided does not constitute a solicitation of an offer to buy, or an offer to sell securities in any jurisdiction to any person to whom it is not lawful to make such an offer.